David Kenton Brosend

Employer firm

Janney Montgomery Scott LLC CRD 463

$110B regulatory AUM 1,031 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-05-25
CA	RA	APPROVED	2013-01-24
OH	RA	APPROVED	2010-09-16
PA	RA	APPROVED	2006-03-31

TX RA
APPROVED_RES

Since 2016-05-25
CA RA
APPROVED

Since 2013-01-24
OH RA
APPROVED

Since 2010-09-16
PA RA
APPROVED

Since 2006-03-31

Branch Locations

1700 Westgate Drive Suite 103, York, PA 17408 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Janney Montgomery Scott Llc	Philadelphia	PA	09/2001	Present

09/2001 → Present

Janney Montgomery Scott Llc

Philadelphia, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-15
S63	Uniform Securities Agent State Law Examination	1995-06-23

S65 Uniform Investment Adviser Law Examination

1996-03-15
S63 Uniform Securities Agent State Law Examination

1995-06-23

View on SEC IAPD